Securities America, a subsidiary of Ladenburg Thalmann Financial Services, announced that its senior vice president general counsel, Kevin Miller, has been named to Financial Services Institutes (FSI) Compliance Council.
The FSI Compliance Council can include up to 12 people and provides a forum dedicated to enhancing knowledge and comprehension of compliance and supervisory issues. Members are elected by the council and three-year staggered terms.
Mr. Miller, who joined Securities America in 2000, has over 23 years of experience in legal and compliance matters. As VP of the general council, Mr. Miller oversees the firm’s litigation and regulatory matters, directs the daily operations of the Legal Department and provides advice and counsel to the organization.
In addition, he also oversees the Supervision Department of the company. The Supervision Department is responsible for implementing strategies, processes, and systems to direct the sales activity of the company’s registered and investment advisor representatives.
Securities America is one of the largest independent broker-dealers in the country, with over 1,800 advisors and $50 billion in client assets.